Handbook for Researchers

OVCRD-Administered Grants

Office of t h e Vice Ch ancel l or for Resear ch and Devel opmentUniversity of the Philippines Diliman

July 2007

UNIVERSITY OF THE PHILIPPINES DILIMANOFFICE OF THE VICE CHANCELLOR FOR RESEARCH AND DEVELOPMENT

Organizational Structure(As of April 20, 2007)

LUIS G. SISON, Ph.D.Vice Chancellor for Research and Development

HENRY J. RAMOS, Ph.D.Director

Project Management and Resource Generation Office

CORAZON D. VILLAREAL, Ph.D.Director

Research Dissemination and Utilization Office

PMRGO RDUOEdna T. Morales Dercylis G. Mararac

May DC. Japson Epifania M. DomingoNormia A. Salindal Jennalyn S. Baraquio

Maria Fe B. Seares Ma. Agnes A. Paculdar Dulce Amor C. Barraca Ma. Cielito J. Constantino Ronaldo R. Mendigoria Ma. Melissa R. Parreño

Atty. Marcia Ruth Gabriela P. Fernandez Atty. Vyva Victoria M. Aguirre

Legal Consultants

Anthony Francis G. Montecillo Juan Miguel A. Montes

Technical Consultants

ADMINLibrada O. Comines

Jesusa J. Ariñas Edwin Juan G. Saliganan Severo T. Estrada

TABLE OF CONTENTS

Page

Applying for a Research Grant 1

Evaluation of Research Proposals 4

Project Implementation 7

Duties and Responsibilities of Program/Project/ 11Co-Project/Study Leader

Research Personnel Hiring and Compensation 13

Disbursement of Research Funds 17

Monitoring of Grants 25

Final Report and Other Obligations 26

Intellectual Property Rights 30

OVCRD Journals 30

Administration of Externally-funded Researches 32

Definition of Terms

Annexes

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THE OFFICE OF THE VICE CHANCELLORFOR RESEARCH AND DEVELOPMENT

In line with the University’s thrust towards the promotion of a strong researchand development (R&D) culture, the Office of the Vice Chancellor forResearch and Development (OVCRD) encourages and supports theUniversity of the Philippines Diliman research community by: a) extendingfunding and technical assistance to research activities; b) exploring otherpossible sources of funding; c) establishing linkages with other researchinstitutions and individuals; d) facilitating the dissemination of researchoutputs to the public; e) monitoring the University’s research activities;and, f)addressing emerging issues concerning R&D. Mindful of the benefitsthat the country will derive from research, the OVCRD encourages R&Dinitiatives in all academic fields.

To effectively carry out its functions, the OVCRD has two principal units,each of which is headed by a Director:

PROJECT MANAGEMENT AND RESOURCE GENERATION OFFICE (PMRGO)

The PMRGO assists in project development, institutional or otherwise;identification of local and foreign support sources of fund and relatednegotiations; as well as overall project management. The PMRGOhas three sub-units: the Research Coordination Section, the ResourceGeneration Section, and the Data Center Section. OVCRD-fundedresearches as well as externally funded researches are administered bythe Research Coordination Section.

RESEARCH DISSEMINATION AND UTILIZATION OFFICE (RDUO)

The RDUO disseminates research results by publishing books and refereedjournals and by assisting UP Diliman faculty and researchers in protectingtheir intellectual property. The RDUO has two sub-units: the PublicationSection, and the Intellectual Property Section.

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APPLYING FOR A RESEARCH GRANTWhat are the available OVCRD research grants?

The OVCRD offers Outright Research Grants for: a) research programs,b) research projects, c) theses, and d) dissertations. It also administersthe UP System Grants, namely, a) Research and Creative Work Grant,b) Textbook Writing Grant, c) Postdoctoral Research Grant,d) Ph.D. Incentive Grant, e) Sabbatical Research Grant, andf) Emerging S&T Fields Grant (with two components, the InstitutionalDevelopment Grant and the Emerging S&T Research Grant). TheOVCRD administers as well the Ph.D. Incentive Award and theOpen Grant.

Who are qualified to receive grants?

Faculty members and Research, Extension, and Professional Staff (REPS)of UP Diliman (UPD) and UP Extension Program in Pampanga (UPEPP)are qualified to receive grants.

For outright research grants, applicants must meet the followingrequirements:

Research Program/Project

The proponent must be a regular Faculty Member or REPS in active servicein UPD or UPEPP, regardless of the status of employment (excludingLecturers, Professors Emeriti, and Faculty Members on sabbatical leave).S/He must have knowledge and/or experience in the formulation andimplementation of field or laboratory researches and must devote atleast 10 hours a week to research and development, and researchimplementation and administration.

Thesis/Dissertation Grant

The proponent must be a temporary or regular Faculty Member,Teaching Assistant (MA/MS student), Teaching Fellow (Ph.D. student),or REPS in active service in UPD or UPEPP, enrolled in either campus,and whose thesis/dissertation proposal has been approved by his/herCollege Graduate Committee.

Please see Annexes 1 to 8 for details of the implementing guidelines ofthe different grants.

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Can I still apply for a grant if I have an ongoing project funded by theOVCRD?No. Your proposal cannot be considered for evaluation by the office until youhave completed your project, submitted your final report and settled allfinancial/property accountabilities with the OVCRD.

How much financial assistance can I avail of?The funding provided is subject to the recommendation of the evaluationcommittee based on the projected needs of the proponent in completing theresearch. Here are specific funding caps for some grants:

When can I apply?Below is the schedule of deadlines for proposal-submission:

Application forms, formats and guidelines may be obtained at the Dean’s Officeof your college or downloaded from the OVCRD website (www.ovcrd.upd.edu.ph).Please see copies of application forms in Annexes 8 to 15.

TYPE OF GRANT MAXIMUM FINANCIAL ASSISTANCE

OVCRD Outright Grants Project P300,000

Thesis P 30,000

Dissertation P 60,000 System Grants Research/Creative Work

Textbook Writing Approximately 58% of annual salary

Postdoctoral Airfare (economy class) and grantee's living expenses

Sabbatical P 30,000

Emerging S&T Fields

Institutional Dev't Emerging S&T Research

Proponent may propose subject to fund availability

Ph.D. Incentive Grant Pre-travel and clothing allowances; foreign travel; living allowance excluding family; other required fees

OVCRD Ph.D. Incentive Award P300,000 per year for a maximum of 2 years

FIRST ROUND SECOND ROUND TYPE OF GRANT CALL FOR

PROPOSALS SUBMISSION DEADLINE

CALL FOR PROPOSALS

SUBMISSION DEADLINE

OVCRD Outright Grants Project 1st wk Jan 4th Monday

of Feb To be announced

To be announced

Thesis and Dissertation 2nd wk Mar Apr, 1st day of Summer Classes

Last wk Aug Last wk Sep

System Grants Research/Creative Work

Textbook Writing

Postdoctoral Sabbatical

Emerging S&T Fields Institutional Dev't Emerging S&T Research

2nd wk Nov Last working day of Jan 2nd wk May Last working day of Jul

Ph.D. Incentive Grant Yearound Yearound Yearound Yearound OVCRD Ph.D. Incentive Award Yearound Yearound Yearound Yearound

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How are research funds managed?

All research funds are administered in accordance with governmentaccounting and Commission on Audit (COA) rules as well as UP rules.

For OVCRD outright research grants:A. Thesis/dissertation grants shall be governed by a contract between

the UPD represented by the Chancellor and the grantee stipulatingprovisions regarding obligations and outputs, among others. Thefull amount of the grant shall be released to the Grantee after theChancellor has signed the Implementing Order (IO) and the IO hasbeen notarized.

B. Research grants for programs/projects are governed by a contractbetween the UPD represented by the Chancellor and the projectleader. This contract outlines the provisions for obligations, outputsand intellectual property rights (IPR), among other stipulations.

The project funds shall be released as follows:70% of the total amount shall be released upon approval of the grant andupon signing the Memorandum of Agreement (MOA);20% of the total amount shall be released upon submission of the progressreport and settlement of the 70% total funds released;10% of the total amount shall be released upon submission of the finalreport and publishable article derived from the project, andsettlement of the 20% total funds released.

For other grants, these are covered by their respective MOAs orcontracts.

What other assistance can I avail of?The OVCRD maintains a database of completed and/or ongoingUPD research studies that may be of help in the review of relatedliterature. A directory of funding agencies is also available to interestedresearchers who are looking for research funding outside the University.OVCRD also conducts seminars/workshops on research proposalwriting and Intellectual Property Rights (IPR).

Is co-funding allowed?Yes, co-funding may be allowed. The proponent, however, shouldinform the OVCRD which components/activities of the project will befunded by the OVCRD and which components/activities are supportedby other funding agencies. Furthermore, the proponent should alsofurnish the OVCRD with a copy of the MOA with the co-funding agencycontaining IPR agreements, among other stipulations.

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EVALUATION OF RESEARCH PROPOSALS

The outright research grant proposal is evaluated by a committee ofexperts to determine whether the research is suitable for funding by theOVCRD. For other grants, please refer to Annexes 1 to 8.

How are proposals evaluated?

Research proposals go through a series of steps:

A. The PMRGO staff conducts a preliminary evaluation of all thesubmitted proposals to check for the following:

1. Conformity to the prescribed format;2. Endorsement of the department chairperson and dean; and,3. Pagination of the proposal4. In the case of a thesis /dissertation, the following should be

included:

a. a copy of the approved thesis/dissertation proposal;b. panel defense sheet which contains the signatures of the panel

chairperson and members, action of the panel, comments/suggestions for revisions; and,

c. endorsement of the adviser with information on the currentstatus of the thesis or dissertation

Proponents may be requested by the PMRGO to clarify or explain somedetails of the proposal (e.g., breakdown of requested budget)whenever necessary.

B. After the preliminary evaluation, all submitted proposals undergo theactual evaluation by the appropriate evaluation committee.

To screen research proposals for possible funding, the OVCRD has twoevaluation committees—the Natural Sciences and EngineeringResearch Evaluation Committee, and the Social Sciences andHumanities Research Evaluation Committee. The Director of PMRGOor the Vice Chancellor for Research and Development (VCRD) servesas chairperson of these evaluation committees.

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The committees meet separately to evaluate research proposals withintheir areas of concern. The number of evaluation meetings may varydepending on the quality and number of the proposals beingevaluated.

These committees evaluate the research proposal based on thefollowing criteria:

1. Quality of Proposal - originality/novelty of ideas; scientific or artistic merit and soundness of methodology;2. Timeliness and Relevance - significance to current issues/scientific

or artistic domain;3. Consonance of proposed budget with the research activities

and expected output;4. Status of proponent with the University;5. Track record of proponent;6. Potential of publishing a manuscript; policy and programmatic

implications; technology innovation with commercialpossibilities.

The evaluation committee submits their recommendation to thePMRGO Director. The PMRGO Director makes the final decisionregarding approval of proposals for funding. The number of proposalsthat will be approved will depend on the technical merit of proposalssubmitted, as well as the total amount of available research funds.

C. The proponents will then be informed in writing by the PMRGODirector of the evaluation results. The proponents of approvedproposals will also be advised of the implementation date andprocedures of the project/grant.

Prior to the grant implementation, the new project leaders/granteesare required to attend an orientation on policies and guidelinesgoverning the grant on a date set by the OVCRD.

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D. In some cases, there are other requirements that need to beprovided by the proponent before the implementation of theproject. These include permits that signify compliance with thefollowing:

1. Statistical Survey and Clearance System - Survey proponents arerequired to secure clearance from the National StatisticalCoordination Board (NSCB) at least 45 days before the scheduledconduct of the survey.

2. Philippine Biosafety Guidelines – A permit from the NationalCommittee on Biosafety of the Philippines (NCBP) is required forresearch involving genetic engineering, as well as importationor introduction and/or breeding of plant pests and potentiallyharmful micro-organisms.

3. Comprehensive Dangerous Drugs Act of 2002 (RA 9165) – Toconduct research involving dangerous or controlled substances,a license from the Philippine Drug Enforcement Agency (PDEA) isrequired.

4. Wildlife Resources Conservation and Protection Act (RA 9147) –For purposes of thesis/dissertation of students affiliated with localgovernment institutions, including those government-initiatedor -implemented research or scientific projects, a GratuitousPermit (GP) issued by the DENR (Department of Environment andNatural Resources) Regional Executive Director, who hasmanagement jurisdiction over the study sites/areas, is required.If the proposed study will be undertaken in areas covered bytwo or more regions, the GP shall be issued by the Director ofthe Protected Areas and Wildlife Bureau (PAWB).

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PROJECT IMPLEMENTATION

The PMRGO shall set the official starting date for the Outright ResearchGrant (for Research Project), Ph.D. Incentive Award, and the Open Grant.

The implementation of the thesis/dissertation grant, which is also underOVCRD’s Outright Research Grant, may commence at the date ofapproval of the thesis/dissertation proposal by the Thesis/Dissertation Panelof the Department where the grantee is enrolled as cited in the approvalsheet. If the year of the Panel’s approval of the thesis/dissertation proposalis earlier than the year when OVCRD approved the grant, thencommencement date for the thesis/dissertation grant will be set in Januaryof the year when OVCRD approved the thesis/dissertation grant so thatfunding will fall within UP Diliman’s fiscal year.

The Office of the Vice President for Academic Affairs (OVPAA) sets thecommencement date for the System Grants.

Can I defer the implementation of my research grant?

The proponent may request that the project implementation bedeferred for a minimum of 1 month to a maximum of 6 months.However, the start of the actual implementation should be in thesame calendar year (also the fiscal year) as the original implementationdate. If the research is not undertaken within this period, the proponentforfeits his/her right to the grant.

How are implementation papers processed?

Implementation papers are prepared when research proposals areapproved for funding by the committees. For program and project grants,the Memorandum of Agreement (MOA) is required for the officialimplementation of the research and the disbursement of research funds,while the Implementing Order (IO) is needed for thesis and dissertationgrants. The IO and the MOA contain all the provisions for implementation.

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IOs and MOAs are processed as follows:

Thesis/Dissertation Grant Implementing Order

PMRGO prepares IO &attaches approved budget

Grantee signs IO;Thesis/Dissertation Adviser also signs as witness

VCRD signs IO as witness

Chancellor signs IO

PMRGO has IO notarized

Grantee gets Research Monitor PMRGO keeps Admin Section original copy keeps file copy central copy attaches copy

to Disbursement Voucher

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Memorandum of Agreement

PMRGO prepares MOAand attaches approved

Line-Item Budget

Project Leader (PL) signs MOA

VCRD and PMRGO Directorsign MOA as witnesses

Chancellor signs MOA

PMRGO has MOA notarized

PL gets Research Monitor PMRGO keeps Admin Section original copy keeps file copy central copy attaches copy

to Disbursement Voucher

As a faculty member, can I avail of the Research Load Credit (RLC)/Creative Work Load Credit (CWLC) once my research/creative work grantis approved?

Yes, faculty members doing research/creative work may apply for Research LoadCredit (RLC)/Creative Work Load Credit (CWLC) which may partially satisfy thefaculty members’ required load of 12 units. Outlined below are procedures onthe RLC/CWLC lifted from the University Guidelines*:

1. Load credit for research/creative work shall ordinarily range from 1 to 3 unitsper semester. All applications for research/creative work load credit (pleasesee Annexes 18 and 19) must be accompanied with a description of the work,timetable/duration of the project and funding information. They must berecommended by the Chair of the Department and approved by the Dean.

2. Whenever load credit is claimed for research/creative work, a report ofaccomplishment or progress report shall be submitted to the OVCRD at theend of the semester when load credit is claimed and upon renewal ofapplication. It is the responsibility of the Dean to see to it that such reports aresubmitted on time. There shall be attached to the report an evaluation of theresearch output/creative work by the College Research Committee or itsequivalent, including recommendation by the Dean for the renewal or non-renewal of the load credit. A final report shall be submitted to the OVCRD atthe end of the project period indicated in the timetable.

3. A load credit for research/creative work in excess of 3 units per semester butnot exceeding a total of 6 units may be requested from the Chancellor in verymeritorious cases. Such applications for a load credit shall be evaluated andendorsed by the Dean. All applications for research/creative work load creditin excess of 3 units shall be submitted to the Office of the Chancellor beforethe beginning of the semester but not later than the first day of registration. Allapplications for load credit that are submitted to the Office of the Chancellorafter the first day of registration shall not be given more than 3 units of credit.

a) RLC/CWLC may be given for module/textbook writing.b) RLC/CWLC may not be counted for purposes of overload.c) RLC for projects that are completed in the middle of the semester shall be

pro-rated based on the portion of the semester when the project wascompleted.

d) RLC/CWLC is not granted for editing of printed work and for thesis/dissertationwork.

Application forms (UP Form 67-C/67C-1) are available at OVCRD and may alsobe downloaded from OVCRD’s website, www.ovcrd.upd.edu.ph.

*Revised University Guidelines on Research and Creative Work Load Credit, UPDExec. Com. meeting, June 19, 2002; OVCRD memo 29, June 24, 2002; revisedUPD Exec. Com. meeting, October 1, 2003

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DUTIES AND RESPONSIBILITIES OF PROGRAM/PROJECT/CO-PROJECT/STUDY LEADER

What are my tasks and responsibilities as Program/Project/Co-ProjectLeader/Grantee?

Program Leader

1. Provides overall direction of the project in terms of setting upcommon research objectives for separate research projects underthe program;

2. Plans the schedule of activities of the various projects to ensuresynchrony and coordination in research efforts and that outputsare achieved;

3. Determines ways and means by which separate projects cancomplement and supplement individual data collection efforts;and,

4. Ensures that all project leaders comply with the provisions of theMOA such as submission of reports or financial settlement.

Since the Program Leader is concurrently the Project Leader of acomponent research project, s/he must also accomplish the dutiesexpected of a Project Leader. Furthermore, when planning to go outof the country for more than 30 days, the Program Leader must notifythe PMRGO and recommend a competent Officer-in-Charge (OIC)from among the project leaders of the program.

Project Leader/Co-Project Leader

1. Plans the research procedures and directs operations necessaryto meet the objectives of the research;

2. Hires research personnel and prepares the necessary paperworkfor their services;

3. Plans, organizes, and coordinates the duties and tasks of researchpersonnel through the different stages of the research process;

4. Takes charge of the financial settlement and is responsible forproperty accountability;

5. Writes and edits all written outputs of the project; and6. Complies with the provisions of the Memorandum of Agreement.

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When planning to go out of the country, the Project Leader notifiesthe PMRGO and recommends a competent OIC. In case s/he has aCo-Project Leader, the Co-Project Leader is automatically appointedas OIC. On the other hand, a Thesis/Dissertation Grantee, because ofthe nature of his/her research, cannot assign an OIC.

Study Leader

1. Assists the Project Leader in planning and managing researchoperations;

2. Plans and supervises the work of lower level personnel in theimplementation of the research aspects assigned to him/her bythe Project Leader;

3. Reviews the findings, analyses, and research interpretations arrivedat by the research personnel; and,

4. May initiate and supervise data collection, processing, and reportwriting.

Am I entitled to receive honorarium as Program/Project/Co-Project Leader?

Yes, Program, Project, Co-Project and Study Leaders are entitled to receive honorarium. The rates are as follows:

Position Honorarium

Program Leader P3,500/monthProject Leader P3,000/month*Study Leader P1,500/month

*The honorarium will be equally divided among the Project Leaderand his/her Co-Project Leader(s) unless they indicated a differenthonorarium schedule in their proposal.

Thesis/dissertation grantees are not entitled to honorarium.

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RESEARCH PERSONNEL HIRING AND COMPENSATION

Can I hire project personnel?

Yes, the Project Leader may hire technical staff on a full-time, part-time, or straight fee basis. The plantilla of project personnel mustconform to the approved research line-item budget. Changes inPersonal Services (e.g., status, salary, or hiring of additional personnel)can be effected through the submission of a formal request subject tothe approval by the PMRGO Director.

What should be their qualifications?

Criteria for qualifications should conform to the requirements of theHuman Resources Development Office (HRDO) of the University. Beloware some positions of personnel that may be hired to work for anOVCRD-funded research.

University Research Associate I

The applicant must possess a baccalaureate degree relevant to thefield of research.

Duties

Since research activities require advanced knowledge and skills inmid-level research operations, the applicant must possess the abilityto carry out the following tasks:

1. Institute laboratory controls and set-ups;2. Assist in the construction of questionnaires, interview schedules,

and observation guides;3. Supervise data collection activities in field or laboratory

settings;4. Code/tabulate/encode and edit data;5. Conduct qualitative/quantitative data analyses; and,6. Write the initial report on research results.

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Moreover, the research associate is also expected to carry out otherproject-related activities assigned to him/her by the project leader.

Statistician

The applicant must have a baccalaureate degree relevant to thenature of work.

Duties

1. Performs computations using relevant statistical software;

2. Prepares statistical reports, tables, charts, and graphs;3. Provides assistance in statistical analysis.

Translator

The person to be hired must have the appropriate educationalbackground or professional experience in translation work.

Duty

Translate manuscripts, literary work, questionnaires, transcriptsof interviews, and other documents.

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What are the procedures for hiring project personnel and payingsalaries and fees?

Hiring Procedure

Project Leader (PL) screens and selects applicants

Personnel submits required documents(min. req.: transcript, CV and TIN)

PL prepares contract (see Annex 20 for format)

PL and personnel sign contract

Personnel submits BIR form 2305 to OVCRD (see Annex 21)

Procedure for Payment of Salaries and Fees

PL pays salaries of the personnelas stipulated in the contract

PL deducts monthly withholding tax

Personnel signs receipt of payment(see Annex 22 for format)

PL remits withheld tax to the Accounting Office,Tax Section

PL furnishes OVCRD Administrative Section withAcknowledgment Receipt of remitted withholding tax

together with the accomplished Tax WithheldTransmittal Sheet (see Annex 23 for format)

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How much is to be deducted for withholding tax?

For program/project/co-project/study leader, 20% of the honorariumshall be deducted as withholding tax. Twenty percent (20%) withholdingtax will likewise be charged from part-time work salaries or straightfees of UP employees hired for a project. The project leader shouldremit withheld tax to the Accounting Office, Tax Section furnishingOVCRD Administrative Section with (1) Acknowledgment Receipt ofremitted withholding tax, and (2) the accomplished Tax WithheldTransmittal Sheet (see Annex 23 for format).

A 10% withholding tax will be deducted from the straight fee of researchpersonnel who are not UP employees while for project personnel hiredon a full-time basis, it will be computed based on their income bracket.

How much do I have to pay the research personnel?

Recommended Salary Rate for Research Personnel(UP Revised Salary Scale, National Budget Circular 474, July 2001)

Position Basic Rate Graduate Assistant 42/hour, max. of 100 hrs./month Student Assistant 25/hour, max. of 100 hrs./month Univ. Research Associate I 11,167.00/month

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DISBURSEMENT OF RESEARCH FUNDSWhat should I keep in mind in purchasing materials or spending researchfunds?

The Project Leader, and Thesis and Dissertation Grantees are accountableand in charge of the proper documentation of fund expenditure. ProjectLeaders may delegate the compilation of these requirements to projectstaff, but s/he shall be responsible for their validity.

1. Only expenses detailed in the approved line-item budget (LIB) shouldbe charged to project funds. Any realignment must be requested(supported by a justification of such a change) and approved bythe PMRGO director.

2. Only original, official receipts dated within the approved projectduration, including approved extension periods, shall beacceptable to charge against the project funds.

3. Receipts must have official receipt (OR) numbers and taxidentification numbers (TIN), and bear the inscriptions of any of thefollowing: Official Receipt, Cash Invoice, or Cash-Sales Invoice.Taped receipts with the words “This serves as your official receipt”are also acceptable.

4. The date of the receipt and other particulars should be completeand legibly written.

5. Certification or affidavit of loss shall not be considered asappropriate replacement for the required receipts.

6. The OVCRD reserves the right to question the validity of receipts,and may conduct inquiries in order to determine receiptauthenticity. The OVCRD may disallow receipts it finds questionable.

7. When purchasing materials, the Project Leader is encouraged tomaximize his/her funding by getting the best possible purchasingdeal within a reasonable time.

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What are the requirements in making purchases/expenses?

Research fund expenditures should be in accordance with the approvedline-item budget of the grant and should be within the duration of thegrant.

1. Supplies and Materials

These include field, laboratory and office supplies and materialsessential to the research.

• Supplies and materials usually include expendablecommodities for immediate use in research, or itemsconsumed within a year after being put to use or con-verted in the process of manufacturing or construction.

• Laboratory animals are also classified as researchmaterials.

Determine the unit costs of supplies and materials and the requiredquantities for each of the various commodities. Prevailing pricesmay be used as the basis of computations. The list of supplies andmaterials with corresponding estimated unit and total cost shouldbe attached to the LIB.

Three quotations are required for supplies and materials costingP10,000 and above. All purchases shall be supported by original,official receipts payable to the Project Leader.

Receipts should bear the name of the Project Leader and the dateof purchase. The date of purchase should be within the duration ofthe project.

2. Books

As much as possible, the titles of the books the proponent plans tocharge against project funds must be specified in his/her proposal,and these should not be available in the University Libraries. Original,official receipts must bear the name of the Project Leader and thedate of purchase.

Books may also be purchased abroad provided these are not locallyavailable.

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3. Equipment, Peripherals and Accessories

These include items, which when used, do not suffer any materialor substantial change or alteration in size or form, or whose lifeexpectancy is more than one year.

These commodities also include semi-expendable supplies whichare not readily consumable but are more or less permanently usefulor non-expendable.

The following supporting documents are required:

a. At least three quotations with the same specifications, or acertification of sole distributorship from the supplier forpurchases over P10,000.00

b. Acknowledgement Receipt for Equipment (ARE) to beaccomplished by OVCRD for purchases over P2,000.00(see Annex 24)

c. Inventory Custodian Slip (ICS) to be accomplished by OVCRDfor purchases equal to P2,000.00 or less (see Annex 25)

d. Original, official receipt and sales invoice/delivery receipt.In cases wherein the Project Leader will need to keep theoriginal receipt for warranty purposes, a reproduction of theofficial receipt may be submitted in the financial reportprovided the Project Leader presents the original receipt tothe OVCRD. The original, official receipt will be submittedduring the last financial report.

The following are required for purchases abroad:

a. Request for authority to purchase abroad from the ViceChancellor for Research and Development/OVCRD-PMRGODirector

b. Purchase Orderc. Statement of Account when credit cards are used to

purchase an equipment, peripherals or accessories abroad

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4. Reproduction of Materials

The OVCRD allows the reproduction of project-related materialsof a reasonable quantity. This must be supported with the followinginformation:

a. An original, official receipt, bearing the name of the projectleader and the date of purchase which is within theapproved duration of the grant.

b. The project leader/grantee must ensure that the number ofcopies and cost per copy, in addition to the totalphotocopying cost, are indicated in the receipt.

c. The title of the photocopied document must be specifiedon the page where the OR is attached. This page must alsobear the signature of the project leader/grantee.

d. Any corrections to the entries in the OR should bear the initialsof the authorized sales clerk.

5. Travel

This includes expenses incurred in the movement of persons, whetheremployed in the government or not, such as transportation,subsistence, lodging and travel per diems, hiring of guides or patrol,transportation of personal baggage or household effects; railroad,airline and steamship fares, tips, transfers, etc. while traveling;charter of boats, launches, automobiles, etc.; non-commutabletransportation allowances, road tolls, parking fees; and all othersimilar expenses.

Only project-related travel specified in the approved line-itembudget is chargeable to project funds.

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Within Metro Manila

Project leaders and staff whose permanent official station is withinthe Metro Manila area shall not be allowed the authorized travelexpenses for their travel assignments within Metro Manila. The samerestriction shall also apply to those whose official station is outsideMetro Manila when assigned to places where their official stationis located. Only the cost of transportation may be reimbursed orpaid from the MOOE (Maintenance and Other Operating Expenses).The following are required for payment of cost of transportation:

a. Itinerary of travel

An Itinerary of Travel (IT) should be prepared for each tripregardless of the number of days (see Annex 26 for format).The IT should bear the date of travel, places of origin anddestination, the public conveyance used, the cost oftransport, and the trip’s purpose. The Project Leader or his/her staff that prepared the IT must sign it.

b. Bus tickets, or Reimbursement Expense Receipt (RER) fortaxi fare (see Annex 27)

Expenses incurred during travel for research purposesinclude the actual cost of transportation (as supported bytickets or receipts), or unreceipted fares at prevailing rates(e.g., jeepney fares) from the research station to the placeof field assignment and back.

c. Official receipts for gasoline (for government vehicles)

d. Trip ticket (for government vehicles)

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Outside Metro Manila

The OVCRD complies with the guidelines defined by ExecutiveOrder 298 for travel allowances. Thus, a project leader/personnel or grantee shall be entitled to P800 per diem rate.This includes travel allowance of P240 (30% of the total) coveringthe cost of subsistence/meals; P160 (20%) inland transportationand other incidental expenses; and hotel/lodging allowanceof P400 (50%).

Actual expenses for lodging shall likewise be allowed providedthey are within the established range. Expenses incurred in four-star hotels shall not be allowed except in meritorious cases.Reimbursement shall be supported with cash invoice/officialreceipt.

In addition, a full per diem is given only for trips covering onewhole day (i.e., before 7:00 a.m. and after 12 midnight).

For every trip/travel, only one mode of claiming subsistenceshall be allowed, either actual expense or per diem, but in nocase shall it be a mixed claim.

Actual expense shall be supported with cash invoices/officialreceipts.

Requirements for trips outside Metro Manila:• A Travel Order (TO) form (see Annex 28) must be

accomplished for provincial travel.• One TO must be accomplished per project staff.• The TO must detail the dates/time of travel, the destination,

and purpose. The form should also bear the name,designation and signature of a certifying officer from theplace visited, and the signature of the Project Leadercertifying for travel completed.

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Allowable Travel Expenses

• The grantee may reimburse the actual fare for an authorizedmode of transportation, at the prevailing rates. This shall startfrom the permanent official station up to the destination orplace of work, and back.

• Only the ordinary public conveyances or customary modes oftransportation shall be used, unless transport of research-relatedmaterials is involved, such as using taxicab services intransferring bundles of supplies or heavy equipment to aresearch locality, or transporting baggage and researchmaterials to and from out-of-town sites. This must be supportedby a detailed Reimbursement Expense Receipt or RER(see Annex 27) and a justification for the service.

• Using privately owned motor vehicles for official trips must bejustified and supported by a contract. In the absence of acontract, only the equivalent costs of the customary mode oftransportation are chargeable against the project.

• Gasoline costs are chargeable against project funds when agovernment vehicle is used for the trip. A copy of the trip ticketand the gas receipt must be submitted to support this.

6. Laboratory Fees

Original official receipts should be presented with details ofthe services (e.g., no. of samples analyzed, cost per sample).

7. Meetings/FGDs

Food expenses for project-related meetings, focus groupdiscussions, etc. specified in the project’s methodology areallowed. These should be supported by Attendance Sheetsbearing the date, venue and the purpose of the meeting,and the list of attendees and their signatures.

Official receipts are required for these food expenses.

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8. Tokens

These should be given for a purpose related to the approvedmethodology. Original official receipts and the purpose for whichthe tokens are given should be indicated on the page where theOR is attached. This page should also bear the project leader’ssignature.

9. Sundry

This covers maintenance and operating expenses not included inthe cost of travel or supplies such as:

• communications which may include the cost of all servicesfor transmitting messages (i.e., telephone/cellular phone,telegrams, cables, postal charges, telegraphy/expressmessenger services)

• library/museum fees

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MONITORING OF GRANTSHow does the OVCRD monitor my progress?

Progress Report

The principal mechanism for monitoring the progress of ongoingresearches is called the Progress Report (PR). Two (2) copies of the PR issubmitted within 15 days after the end of the first half of projectimplementation (e.g., sixth month for a one-year project, third monthfor a six-month project).

The PR should contain the following information:1. Activities

a. Actual activities undertakenb. Activities not accomplished, if any, and reasons why these were not donec. Activities done ahead of schedule, if any

d. Additional activities, if any2. Preliminary processing of data: findings3. Preliminary analysis: discussion of findings and interpretations4. Samples of output or research materials (i.e., questionnaires,

test materials, observation forms used for data gathering)5. Financial status: settlement of first fund release (see Annex 29

for format)6. Summary of problems encountered: including those

encountered in research administration and implementation7. Proposed changes, if any, and rationale for changes: substantial

changes particularly in the objectives and methods will besubmitted to the appropriate evaluation committee

8. Endorsement of Adviser (for thesis/dissertation)

Proposed changes and problems encountered in the research can becommunicated to the OVCRD anytime as deemed necessary toexpedite appropriate action on these matters.

In addition to the PR, a research monitor may visit an on-going projectat the Project Leader/Grantee’s official station and/or research site,after notice is sent to the Project Leader/Grantee.

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FINAL REPORT AND OTHER OBLIGATIONSHow do I present my final report?

Final Program/Project Report

The OVCRD requires the submission of at least two (2) copies of thedraft final report within 60 days from the completion of a researchproject. The format should follow that of a scientific journal outlinedas follows:

1. Research abstract, key words (maximum of 5)2. Introductory chapters: problems, objectives, and significance3. Review of literature4. Methodology: sampling design, variables, materials, and procedures5. Presentation of results, including figures, tables, & photos, as necessary6. Discussion and interpretations7. Conclusion and recommendations8. References/bibliography9. Appendices10.Short note about the author

One hard copy (8 1/2” x 11”, bound and paginated) and one CDcopy (in MS Word, PDF or Open Office formats) of the final report shallbe submitted after the report has been revised based on theevaluation. In addition, a manuscript based on the results of theresearch may be required after the report has been evaluated andfound acceptable. Reprints of published articles derived from theresearch should also be submitted to the OVCRD.

Who will evaluate my final report?

Upon receipt, the final report is referred to an evaluator/referee who reviewsthe report using the following guidelines:

1. Were the study objectives accomplished?2. What do you see are the actual as well as potential scientific/

scholarly contributions of the research?3. Will you recommend it for publication? If yes, what kind of

publication (e.g., International, ISI or others)? If no, why not?4. Do you have any suggestions on content and format if

deemed worthy of publication?5. Do you have any comments on other aspects of the study or

report that you think are relevant or will improve the report?

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Additional conditions of OVCRD research grants include the following:

1. Through the OVCRD, UP Diliman may require the Program/Project Leader/Grantee to submit manuscripts following theformat of its publications.

2. The University may also require the Program/Project Leader/Grantee to present/exhibit his/her research results in disseminationactivities.

3. Final reports and bound copies of theses and dissertationssubmitted by the Program/Project Leaders and the Grantees,respectively, are considered property of the OVCRD.

4. While the OVCRD reserves the right of first refusal in thepublication of the results of OVCRD-funded research, theProgram/Project Leader/Grantee may request permission topublish in other journals.

The PMRGO Director may submit the report to more than one evaluatorif s/he deems it necessary. Experts are expected to complete theevaluation report within six (6) weeks. If found satisfactory, the reportis officially accepted by the OVCRD. If, on the other hand, the finalreport proves to be deficient, it is returned to the Program/ProjectLeader for revision.

Is there a prescribed format for the final report of a thesis/dissertation?

The OVCRD has no prescribed format for the final report of theses anddissertations since each college/unit has its own format. The OVCRDinstead requires that a thesis/dissertation Grantee submit one (1) boundcopy of the thesis/dissertation, which has been approved andaccepted by the Grantee’s college, together with a CD copy of themanuscript in MSWord format within 60 days from the termination ofthe grant. The Grantee is also required to submit one (1) hard copy ofa publishable article based on the thesis/dissertation.

In the Acknowledgments part of the thesis/dissertation, the Granteeshould cite the financial support given by the OVCRD.

Are thesis/dissertation reports evaluated?

No, the PMRGO does not evaluate theses/dissertations because thesehave already been evaluated and approved by thesis/dissertationpanels and accepted by the college.

What else do I have to settle before I can be cleared of myaccountabilities?

In addition to the final report, you must settle all financialaccountabilities with the OVCRD not later than one (1) month afterthe termination of the project. Likewise, all semi-/non-expendableitems and equipment purchased out of project funds (issuedAcknowledgement Receipts for Equipment/Inventory Custodian Slips)shall be returned to the PMRGO not later than a month after the endof the project. Or, the Program/Project Leader/Grantee may requestfrom the Vice Chancellor for Research and Development that theseitems/pieces of equipment be donated to the Department/Unit wheres/he belongs, provided that s/he assigns a person from his/herDepartment/Unit who shall be accountable for the donated items/pieces of equipment.

If I was not able to finish the project on time, would I be allowed to extendthe duration of my research?

There is a grace period of two (2) months granted to a project fromthe date of its expected completion to allow the Project Leader/Grantee to comply with OVCRD requirement(s), for example,completion of final report. It is important to note that the graceperiod is not equivalent to an extension of the grant. The ProjectLeader/Grantee can no longer use the unexpended funds during thistime unless the grant has been officially extended.

If more time is needed to complete the project, the Program/ProjectLeader/Grantee may request an extension of one to six (1-6) months,without additional funding. The project leader may also requestpermission to use unexpended funds during the extension period. Therequest should be made in writing not later than one month beforethe termination of the grant. The letter should describe the status ofthe research, the length of time needed and the activities to beundertaken.

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How many times can I request for an extension?

The proponent may request for a second extension provided this doesnot exceed the total six (6) months maximum extension allowed. Thus,if the proponent realized that the two-month extension s/he requestedearlier is not enough, s/he may request for another four-monthextension, at most.

What happens to the unclaimed unexpended funds?

Fund balances that are not claimed within two (2) months after thetermination date will revert to the OVCRD research funds. Failure tomeet the deadline for submission of project-related expenses will meanwaiver of the Program/Project Leader/Grantee’s right to charge theexpenses against project funds.

When is a grant withdrawn or suspended?

The project shall be suspended and fund release shall cease when theProgram/Project Leader or Grantee:1. Leaves the country without properly informing the PMRGO;2. Is suspended from UPD for any offense; and,3. Fails to produce promised outputs midway through the project

without justifiable cause.

After the suspension is lifted, the continuation of the existing projectwill be subject to the review of the Executive Committee of theOVCRD. In case of indefinite suspension, the project will beautomatically terminated.

What happens if I’m not able to submit the expected output?

In case a proponent fails to submit the expected output within oneyear from the original termination date, s/he shall reimburse the OVCRDall fund releases, unless such failure is due to meritorious reasonsbeyond his/her control.

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INTELLECTUAL PROPERTY RIGHTSAll OVCRD-funded researches are subject to the Governing Principles andPolicies in Intellectual Property Rights approved by the Board of Regents inits 1171st meeting held on May 30, 2003 (System Guidelines).

All grantees and their staff are encouraged to seek the assistance of RDUOfor any copyrightable or patentable material arising from their work. Pleasefill out and submit either a Copyright Information Form (see Annex 30) oran Invention Disclosure Form (see Annex 31) to facilitate the process.

OVCRD JOURNALSThe Office of the Vice Chancellor for Research and Development (OVCRD)publishes three (3) journals, namely, Humanities Diliman, Science Diliman,and Social Science Diliman. These are all refereed.

Manuscripts must have a high degree of scholarship. Manuscripts areselected for publication according to editorial assessment of their suitabilityand reviews of independent referees. They will be sent to two or threereviewers, chosen for their expertise. Contributors may suggest reviewers.

Humanities Diliman (ISSN 1655-1532) is a journal for the humanities. It ismultilingual and both disciplinal and multi-disciplinary. Articles on anyaspect of creative and cultural work may be submitted. Book reviewsmay also be submitted.

Science Diliman (ISSN 0115-7809) is a journal of pure and applied sciences.Considered for publication are primary and original papers. Results of inter-disciplinary research projects may be submitted for publication. Reviewarticles may occasionally be accepted. Except for review articles, papersshould present new and previously unpublished material.

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Social Science Diliman (ISSN 1655-1524) is a journal for the social sciences.It is bilingual (English and Filipino) and both disciplinal and multi-disciplinary. Articles may be on any aspect of the social sciences andtheir applications. Book reviews may also be submitted.

What is a refereed journal?

A refereed journal contains articles that have been reviewed by personsconsidered experts in their field of study prior to publication.

Persons requested to referee articles for the journals are independentof the editorial board of each journal. Articles are reviewed both bynational and international referees.

The Review Process

Humanities Diliman, Science Diliman, and Social Science Dilimanfollow the double blind review process. This means that the identity ofthe author of the manuscript is not known by the reviewers during thereview process. The identity of the reviewers is not known by the authorsas well. OVCRD ensures that the names of the authors are removedfrom the manuscript before sending the manuscript for review.

All authors of articles submitted to Humanities Diliman, ScienceDiliman, and Social Science Diliman should comply with therequirements for his/her manuscript to be considered for publication.Authors/contributors may visit the OVCRD website,www.ovcrd.upd.edu.ph, for the list of the requirements. All thenecessary forms and guidelines in preparing the manuscript for eachjournal can also be downloaded from the OVCRD website.

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ADMINISTRATION OF EXTERNALLY-FUNDED RESEARCHES

Can I have my externally-supported project administered by the OVCRD?

Yes. The OVCRD administers funds of projects supported by non-UPfunds, government or private. A MOA (Memorandum of Agreement) isrequired between the funding agency and UP.

How are external funds administered?

Administration of external funds is the same as OVCRD funds exceptwhen specified otherwise by the funding agency.

Does UP charge Administrative Overhead Cost?

Yes. In accordance with UP Policy and Guidelines, a percentage of allproject funds shall be allocated for University administrative overheadcost in accordance with the following schedule:*

Amount of Funding Administrative CostLess than P100,000 minimum of 5%P100,001–200,000 minimum of 7%P200,001 and above minimum of 10%

How does UP allocate Administrative Overhead Cost?

The administrative fund shall be used for the following purposes:a. To help shoulder the utilities and maintenance bills.b. To provide assistance to academic programs, such as the

acquisition of equipment and supplies and materials in supportof such programs.

c. To help upgrade the library collection of the University.d. To grant salaries/honoraria/incentive pay to deserving personnel

and/or offices providing service to the project/program.

The amount to be allocated as salaries/honoraria/incentive pay todeserving personnel shall in no case exceed fifty percent (50%) of theshare of the administration per project/program and in no case shallany part or portion of that honoraria be paid to any personnel of theUniversity who is not involved in providing administrative support tothe projects as approved by the appropriate University official. *

*Policy and Guidelines on the Use of University Administrative Overhead Funds asamended by the Board of Regents at its 1037th meeting, Jan. 31, 1991

DEFINITION OF TERMSEXTERNAL FUNDING AGENCY – refers to institution, both local or foreign, which

provides financial assistance to the University for the conduct of research,training, or other projects/programs.

FINAL REPORT – the last report submitted for a research project. This is submittedwithin 60 days after the termination of the project.

GRANTEE – faculty or REPS of UPD and UP Extension Program in Pampanga and isa graduate student enrolled in UPD whose thesis or dissertation was approvedfor funding.

HONORARIUM – a form of remuneration for the services of the program/project/study leader whose broad and superior knowledge, expertise, orprofessional standing in specific fields contribute significantly to scientificand technological research and development.

IMPLEMENTING ORDER – a document that states the date of effectivity of theresearch, the total amount of grant, and the conditions for implementation.This is prepared upon approval of a thesis/dissertation for funding. T h eChancellor and the grantee sign the document. The thesis/dissertation adviserand the VCRD sign as witnesses.

MEMORANDUM OF AGREEMENT – a document that states the date of effectivityof the research, the total amount of the grant, and the conditions forimplementation. This is prepared upon approval of the project for funding.The approved line-item budget form part o f the Memorandum ofAgreement. The Chancellor and the Project Leader sign the document. TheVCRD and the PMRGO Director sign as witnesses.

NATURAL SCIENCES AND ENGINEERING RESEARCH EVALUATION COMMITTEE(NSEREC) – composed of 4-6 faculty members coming from different fields ofthe natural sciences and engineering who are appointed by the Chancellor.The VCRD or the PMRGO Director serves as Chairperson. The NSEREC evaluatesresearch proposals submitted for funding, help in the formulation of policiesfor OVCRD-funded research projects and serve as resource persons inresearch-related seminars/fora sponsored by the OVCRD.

PROJECT PROGRESS REPORT – a report on the progress of the project submit-ted within 15 days after the end of the first half of implementation.

PROJECT LEADER – faculty or REPS of UPD and UP Extension Program in Pampangawhose research projects were approved for funding.

RESEARCH – involves a series of planned activities undertaken to obtain validand reliable answers to verifiable research problems, using the methodsof observation, documentation, and inquiry or other less direct approacheswhich are acceptable in the scientific tradition.

RESEARCH PERSONNEL – those engaged in basic, applied, or developmentresearches.

RESEARCH PROGRAM – a comprehensive interdisciplinary and multi-disciplinaryresearch activity that seeks answers to multidimensional problems throughthe conduct of two (2) or more interrelated research projects. This is headedby a Program Leader.

RESEARCH PROJECT – a planned investigation headed by a Project Leader usuallyinvolving no more than two (2) disciplines, to obtain valid and reliableinformation pertinent to a set of interrelated research objectives. A researchproject may be a component of a program.

RESEARCH STUDY – a planned investigation of a specific problem identified un-der a project undertaken by a Study Leader, within a single discipline or areaof study identified under a project, to obtain valid and reliable informa-tion concerning simple research objectives.

SOCIAL SCIENCES AND HUMANITIES RESEARCH EVALUATION COMMITTEE (SSHREC)– composed of 4-6 faculty members from different fields of the social sci-ences and humanities appointed by the Chancellor. The VCRD or thePMRGO Director serves as Chairperson of the committee. The SSHREC hasthe same functions as those of the NSEREC.

UNIVERSITY ADMINISTRATIVE OVERHEAD COST – refers to expenses incurred by theUniversity for accounting and bookkeeping, personnel support services,maintenance of facilities, utilities, etc., which are not provided for in theitemized budget of a project/program. These are indirect costs of a project/program borne by external funding agencies.

ANNEXES

ANNEX 1IMPLEMENTING GUIDELINES OF GRANT FOR RESEARCH AND CREATIVE WORK*

1. The grant shall support research or creative projects in any field (basicand applied) provided the proposed project is within the discipline/field of the applicant. (For example, an application to write poetryshall not be entertained if proposed by faculty outside this field.)

2. Regular, full-time faculty and REPS, except faculty on sabbatical andthose on secondment to other agencies, may apply for the grant pro-vided they meet the qualifications stated in Annex I.

3. The grant shall not support research relating to the General Educationprogram for which a separate GE Fund shall be established.

4. Applicants may apply individually or as a group. In the case of agroup, the total amount of the grant shall be pro-rated according tothe rank of the applicants and the proportion of work to be done byeach.

5. The schedule of contract rates for faculty shall proceed from the as-sumption that UP faculty (a) work 10.5 months a year (minus semesterand summer break), 22 working days per month, and 8 hours per work-ing day; and (b) will spend about 400 hours per semester (4.5 months)on the project. For REPS, the hourly fee shall be reckoned from theassumption that they work 12 months a year, at 22 working days permonth, and 8 hours per working day. The hourly and annual contractfees shall then be set according to rank.

6. The track record of applicants in completing creative/research projects(whether UP-funded or not) shall be examined by the screening com-mittees of the constituent university (CU) and the System. Faculty andREPS with poor track record shall not qualify for the grant.

7. The grant shall be for one year and, in exceptional cases, may be ex-tended up to six months at most, which extension must be justified.Proof of work thus far completed must also be presented.

8. Applications shall be sent to the CU screening committee for researchgrants and creative work. Said committee shall forward its recom-mendations to the System Committee, ranking them according to thestrength of the proposal and the value and contribution of the pro-posed project.

9. The System Committee on Research Grants and Creative Work shallevaluate the recommendations of the CUs and rank the best accord-ing to merit. The President shall approve the recommendations, thetotal number of grants depending on the availability of funds.

10. The grant shall be awarded in the form of a research contract indicat-ing the purpose, expected output and intellectual property rights ofthe parties involved. Fifty percent (50%) of the grant shall be paidupon signing the contract.

11. Grantees shall continue to perform the functions of faculty/REPS dur-ing the grant period. In no case shall the faculty be given overloadpay for the research. Should the recipient resign before completingthe project, s/he shall automatically lose the grant and return theamount unused.

12. Grantees shall submit a mid-term report to the Chancellor six monthsafter the award commences and the final output (manuscript, inven-tion, artistic work) in acceptable form within two months after thegrant ends. The Chancellor shall regularly provide the VPAA with abrief status report on each grantee.

13. The final installment of the grant shall be released after the result ofthe project has passed a blind review by two referees. In no case shallthe grant be renewed or an application from the same grantee beentertained for any other grant under the Creative and Research Schol-arship Fund until the final result is submitted to the Chancellor.

14. Should the result of the project be published or publicly presented orexhibited, the University shall be acknowledged as the source of the grant.The provisions on intellectual property rights shall likewise be implemented.

15. Grantees who fail to comply with the terms of the grant and those whosegrants are terminated for cause during the project period shall return the fullamount received. Furthermore, they shall be disqualified from all Universitygrants.

*Adapted from “In Support of a Culture of Scholarship and Excellence: Faculty Development, Grants, and Awards:UP System Manual Series 1,” Office of the Vice President for Academic Affairs, University of the Philippines, 2004.

ANNEX 2IMPLEMENTING GUIDELINES OF TEXTBOOK WRITING GRANT*

1. Regular, full-time faculty, except those on sabbatical and on secondmentto other agencies, may apply for this grant. REPS who engage or assist inteaching functions may also apply.

2. The grant shall support the writing of textbooks of core courses of undergraduate degree programs, including reference books, workbooks and labo-ratory manuals, in print or other media, in whatever language the course istaught.

3. Applicants shall state the number of years they have taught the course forwhich they plan to write a textbook and their publications in that particulararea, if any.

4. The grant shall not cover proposals for: (a) GE courses, for which a separateGE Fund shall be established; (b) Open University courses, for which a sepa-rate budget exists; and (c) non-degree (informal) and graduate programs.

5. Neither shall the grant provide for publication costs.

6. Current recipients of a textbook writing grant (including grants to translatetextbooks) from any center, institute or unit of UP may not apply for thisgrant.

7. Priority shall be given to difficult courses and/or courses with high studentenrolment, and courses for which no good (foreign or local) textbooks areavailable.

8. Applicants may apply individually or as a group. In the case of a group, thetotal amount of the grant shall be pro-rated according to the rank of theapplicants and the proportion of work to be done by each.

9. The schedule of contract rates for faculty shall proceed from the assump-tion that UP faculty (a) work 10.5 months a year (minus semester and sum-mer break), 22 working days per month, and 8 hours per working day; and(b) will spend about 400 hours per semester (4.5 months) on the project. ForREPS, the hourly fee shall be reckoned from the assumption that they work12 months a year, at 22 working days per month, and 8 hours per workingday. The hourly and annual contract fees shall then be set according torank.

10. The grant shall be for one year and, in exceptional cases, may be extendedup to six months at most, which extension must be justified. Proof of work

thus far completed must also be presented.

11. The track record of applicants in completing creative/research projects(whether UP-funded or not) shall be examined by the screening committeesof the constituent university (CU) and the System. Faculty and REPS withpoor track record shall not qualify for the grant.

12. Applications shall be sent to the CU screening committee for textbookgrants. Said committee shall forward its recommendations to the SystemCommittee, ranking them according to the content and contribution of theproposal and other relevant criteria.

13. The System Committee on Textbook Writing Grants shall evaluate the rec-ommendations of the CUs and rank the best according to merit. The Presi-dent shall approve the recommendations, the total number of grants de-pending on the availability of funds.

14. The grant shall be awarded in the form of a research contract indicating thepurpose, expected output and intellectual property rights of the partiesinvolved. Fifty percent (50%) of the grant shall be paid upon signing thecontract.

15. Grantees shall continue to perform the functions of faculty/REPS during thegrant period. In no case shall the faculty be given overload pay for theresearch. Should the recipient resign before completing the project, s/heshall automatically lose the grant and return the amount unused.

16. Grantees shall submit a mid-term report to the Chancellor six months afterthe awards commences and an acceptable manuscript within two monthsafter the grant ends. The Chancellor shall regularly provide the VPAA with abrief status report on each grantee.

17. The final installment of the grant shall be released after the manuscript haspassed a blind review by two referees. In no case shall the grant be re-newed or an application from the same grantee be entertained for anyother grant under the Creative and Research Scholarship Fund until the finalmanuscript in print or multimedia is submitted to the Chancellor.

18. Should the manuscript be published or produced, the University shall beacknowledged as the source of the grant. The provisions on intellectualproperty rights shall likewise be implemented.

19. Grantees who fail to comply with the terms of the grant and those whosegrants are terminated for cause during the project period shall return thefull amount received. Furthermore, they shall be disqualified from all Univer-sity grants.

*Adapted from “In Support of a Culture of Scholarship and Excellence: Faculty Development, Grants, and Awards:UP System Manual Series 1,” Office of the Vice President for Academic Affairs, University of the Philippines, 2004.

ANNEX 3IMPLEMENTING GUIDELINES OF POSTDOCTORAL GRANT*

1. Regular, full-time faculty and REPS who obtained their Ph.D. in thelast 3 years preceding the grant may apply.

2. Priority shall be given to those who obtained their Ph.D. in UP or aPhilippine university in order to expose them to another academicenvironment.

3. The grant shall cover a minimum of six months and at most twelve.

4. Applicants shall present proof of acceptance by the foreign institution(university, research institute, laboratory, teaching hospital, art insti-tute or museum) where they intend to carry out their research. Suchinstitution must be well-recognized in the applicant’s field.

5. Applicants who have published in reputable journals or have beenpublished by recognized publishers shall rate higher than those whohave not.

6. Applicants shall submit two sealed references from senior colleaguesfamiliar with their work, who shall assess the applicants’ potentialto contribute to the growth of their discipline and generate newknowledge.

7. The grant shall cover airfare (economy class) and living expenses(excluding the applicant’s family). For this purpose, applicants shallsubmit a budget along with their application.

8. Those who receive funding elsewhere may not apply for the grant,unless their funds are clearly insufficient, proof of which shall berequired. In such a case, and upon the recommendation of the CU(constituent university) and System screening committees, the grantshall cover only the balance needed.

9. Applications shall be sent to the CU screening body created for thispurpose, which shall select the best applications and prioritize themaccording to merit.

10. The CU committee shall forward its recommendations to the SystemCommittee on Postdoctoral Grant, which shall select the bestapplications from among all the CUs and rank them accordingly.

11. The VPAA (Vice President for Academic Affairs) and the VPPF(Vice President for Planning and Finance) shall finalize the individualbudgets of applications, recommended by the System Committeeand shall make adjustments, if necessary, so as to ensure that thecosts are justified and the rates (for travel, accommodation) arereasonable.

12. Once approved, grantees may apply for pre-travel and clothingallowances from their respective CUs.

13. Grantees shall sign a contract with the University upon acceptance ofthe award and shall be bound by University laws on reneging fellows.

14. Grantees shall commence their research within a year from the noticeof the award.

15. Grantees shall submit a mid-term report to the Chancellor throughthe VCRD (Vice Chancellor for Research and Development) and turnin the final report within a month after the grant ends. Any publicationresulting from the postdoctoral research shall be attached to the reportand acknowledge the support of UP. Comments of the supervisor atthe collaborating university, institution or laboratory shall likewise beattached. The Chancellor shall regularly provide the VPAA with abrief status report on each grantee.

16. Grant recipients who do not leave for study shall return the entire sumreceived, or return the balance if they shorten their stay abroad.

17. Those whose grants are terminated for cause during the period ofstudy shall return the full amount received.

18. Payments to the University shall be made directly in case of resignationor retirement, or through salary deductions in other cases.

19. Failure to comply with the terms of the grant shall disqualify the recipientfrom all UP grants and open them to such sanctions as may apply toreneging fellows and violations of pertinent University regulations.

*Adapted from “In Support of a Culture of Scholarship and Excellence: Faculty Development, Grants, and Awards:UP System Manual Series 1,” Office of the Vice President for Academic Affairs, University of the Philippines, 2004.

ANNEX 4IMPLEMENTING GUIDELINES OF PH.D. INCENTIVE GRANT*

1. The PhD Incentive Grant is designed for UP faculty on the PhD pipeline, that is,faculty about to finish their degree in a foreign university who need financialsupport. Rather than lose the time, effort, and resources already spent ongraduate study, the grant aims to enable the faculty member to complete thePhD program.

2. Faculty members in the final year of their PhD program abroad (proof of whichmust be submitted), who do not enjoy any other grant or support except fortheir salary, may apply for the grant. In meritorious cases where a master’sdegree or its equivalent is the highest degree offered in a particular field (becausethe field is a pioneering one or is highly technical), a faculty member enrolled insuch a program abroad may apply for the grant, provided he/she meets theconditions above. Full justification must be supplied.

3. The grant shall cover full-time PhD study or dissertation research and writing fora period of up to twelve months.

4. The grant shall cover airfare (economy class) and living expenses (excluding theapplicant’s family). For this purpose, applicants shall submit an itemized budgetalong with their application.

5. Applications shall be sent to the constituent university (CU) screening body c/othe Office of the Vice Chancellor for Research and Development (OVCRD) createdfor this purpose, which shall select the best applications and prioritize them accordingto merit.

6. The CU shall submit the applicant’s track record: (1) performance in graduateschool and likelihood of completing the degree; (2) papers read in conferences,completed research projects and publications or creative work and other intellectualoutputs; and (3) if the applicant previously enjoyed a grant, why it was stopped.

7. The CU shall also describe the applicant’s potential contribution to his/her unitand indicate if the applicant is tenured or on tenure tract.

8. The applicant must state his/her commitment to complete the program withinone year at most and indicate the expected date of completion.

9. The CU shall prioritize the eligible faculty according to the needs of the campus:which type of expertise is most needed at the moment and/or fits its thrust.

10. The following documents shall be attached to the priority list of the CU: (1)itemized budget of each applicant and basis for proposed amounts; and (2) proofof applicant’s program status (must indicate what remains to be done e.g., howmany chapters, if any, have been written up, etc.) certified by adviser, copy ofgrades, letter of recommendation from adviser.

11. The CU committee shall forward its recommendations to the System Committeeon PhD Incentive Grant c/o the Office of the Vice President for Academic Affairs(OVPAA), which shall select the best applications from among all the CUs andrank them accordingly.

12. The VPAA (Vice President for Academic Affairs) and the VPPF (Vice President forPlanning and Finance) shall finalize the individual budgets of applicationsrecommended by the System Committee, and shall make adjustments, if necessary,so as to ensure that the costs are justified and the rates (for travel, accommodation)are reasonable.

13. Once approved, grantees may apply for pre-travel and clothing allowances fromtheir respective CUs.

14. Grantees shall sign a contract with the University upon acceptance of the awardand shall be bound by University laws on reneging fellows.

15. Grantees shall commence their research within a year from the notice of theaward.

16. Grantees shall submit a mid-term report to the Chancellor through the VCRD(Vice Chancellor for Research and Development) and turn in the final reportwithin a month after the grant ends. The UP Press shall have first option on themanuscript should the author wish to publish it. Publications and other outputsproduced in the course of or as a result of the PhD study or dissertation researchand writing shall be bound by the University policy on Intellectual Property Rights.

17. Any publication resulting from the PhD study or dissertation research and writingshall be attached to the report and acknowledge the support of UP. Commentsof the supervisor at the collaborating university/institution shall likewise be attached.

18. Faculty supported by the Fund shall be bound by University rules on study leave with pay.

19. At the end of the grant period, grantees shall submit to the VPAA proof of completion of theirdegree program.

20. Grant recipients who do not leave for study shall return the entire sum received, or return thebalance if they shorten their stay abroad.

21. Those whose grants are terminated for cause during the period of study shall return the fullamount received.

22. Payments to the University shall be made directly in case of resignation or retirement, orthrough salary deductions in other cases.

23. Failure to comply with the terms of the grant shall disqualify the recipient from all UP grants andopen them to such sanctions as may apply to reneging fellows and violations of pertinentUniversity regulations.

*Adapted from “In Support of a Culture of Scholarship and Excellence: Faculty Development, Grants, and Awards:UP System Manual Series 1,” Office of the Vice President for Academic Affairs, University of the Philippines, 2004.

ANNEX 5IMPLEMENTING GUIDELINES OF GRANT FOR SABBATICAL RESEARCH*

1. The grant is intended for faculty members on sabbatical who will undertakeresearch or creative work during their period of leave from teaching andother duties.

2. Regular, full-time faculty members applying for sabbatical for the purpose ofresearch or creative work (including the writing of textbooks/chapters oftextbooks) in their discipline may apply for the grant.

3. Applicants applying for sabbatical for the first time whose projects are notfunded from other sources shall be given priority.

4. The grant shall be in the form of a research/creative work contract in theamount of P30,000 net of tax (equivalent in monetary value to a ProfessorialChair award). The grant shall be released upon signing of contract, pro-vided the application for sabbatical has been approved.

5. A total of three awards shall be available annually.

6. Applicants should submit to the Chancellor through the VCRD (ViceChancellor for Research and Development) a description of the proposedwork and intended output. The scope of the project is expected to becommensurate to the grant amount.

7. The CUs (Constituent Universities) shall prioritize all applications.

8. The System Committee on Research Grants and Creative Work shall evalu-ate the recommendations of the CUs and rank the best three based onmerit. The President shall have final approval.

9. The OVPAA deadline for all endorsed applications shall be April 30 of thesabbatical year (regardless of the period of sabbatical).

10. A grantee shall submit the final output to the OVPAA through channels (i.e., theChancellor and VCRD) upon report to duty after the sabbatical.

11. Grantees who fail to comply with the terms of the grant shall return the full amountreceived. Furthermore, they shall be disqualified from all University grants.

12. The UP Press shall have first option on the manuscript should the author wish topublish it.

13. Should the result of the project be published or publicly presented or exhibited, theUniversity shall be acknowledged as the source of the grant. University provisionson intellectual property rights shall likewise be implemented.

*Adapted from “In Support of a Culture of Scholarship and Excellence: Faculty Development, Grants, and Awards:

UP System Manual Series 1,” Office of the Vice President for Academic Affairs, University of the Philippines, 2004.

ANNEX 6IMPLEMENTING GUIDELINES OF EMERGING S&T FIELDS GRANT*

1. This Grant shall support inter-/multi-disciplinary research programs/projects related to the BOR-approved list of emerging fields in S&T.

2. The components of the “Emerging S&T Grant” are the following:

a. Institutional Development Grant – for the acquisition of equipmentand for maintenance and operating costs to be used by existingas well as proposed R&D programs

b. Emerging S&T Research Grant – for undertaking research projectsin support of the emerging S&T fields research programs. The guide-lines shall be patterned generally on the existing UP System Re-search and Creative Work Grant.

3. Regular faculty with the rank of Assistant Professor and higher, andREPS with the rank of University Researcher I and higher, may apply forthe Grant, individually or as a group.

4. The following application process shall be followed:a. Proponent(s) shall submit 6 copies of research proposals using

OVPAA Emerging S&T Form - 01 and/or 02.b. Preliminary screening shall be done at the CU level. The proposals

shall be endorsed through channels to the System Committee onEmerging S&T Fields, c/o OVPAA.

c. After a preliminary evaluation by the System Committee, theproponents, together with the Vice Chancellor(s) for Research (orthe equivalent) of all CUs involved in case of research programsshall be invited for interview and requested to present (PowerPointpresentation) their proposals before the System Committee. Thelatter shall assist the proponents improve on the proposals, ifnecessary.

d. The proponents shall revise the proposals as agreed upon duringthe presentation/interview.

5. The System Committee shall recommend to the President the researchprograms/projects to be funded.

6. The number of grants to be awarded shall be subject to availability

of funds. Research programs which require big amounts of fundingmay be submitted as a UP proposal to other funding agencies likeDOST, with substantial UP counterpart.

7. The CU Offices of the Vice Chancellor for Research (or the equivalent)shall be responsible for monitoring the progress of the research pro-grams/projects. An annual report shall be submitted to the OVPAA.

8. Should results of the research programs/projects be published or pub-licly presented, the funding support from the University shall be ac-knowledged. The provisions of the University’s intellectual property rightsshall be followed.

9. The provisions of the contract particularly the terms of reference andthe contractual obligations shall be discussed with the grantee(s) priorto execution of the contract.

10. Additional guidelines shall be set as need arises.

LIST OF EMERGING FIELDS IN S&T TO BE DEVELOPED IN U.P.

MATERIALSbio-materials; bio-fuels; pharmaceuticals/nutraceuticals; nano materials;molecular medicines

BIOTECHNOLOGYnanotechnology; food sufficiency (robust crops, yield enhancement);bio-informatics; disease characterization and DNA sequencing (diagnosis,vaccine development); drug discovery and drug delivery; bio-materials;biodiversity; bio-monitoring

PERVASIVE COMPUTINGadvanced microelectronics and computational algorithmics (“systems on achip”; reconfigurable, cognitive and software-defined radio; machine visionand new user interfaces); environmental monitoring and habitat protection(disaster mitigation and early warning systems; energy efficient sensors andinstrumentation); precision agriculture and aquaculture; next generationnetworks and Internet (network algorithms and quality of service; distributedcomputing; optical communications in wired networks; cost-effective ruralconnectivity and distance learning); pervasive healthcare (telemedicine)

MEASUREMENT AND INSTRUMENTATION(in support of Materials, Biotechnology and Pervasive Computing)nanometer (10-9 meter) scale; nanosecond (10-9 second) events; photonics;separation Science; mechatronics (micro/nano scale)

*issued by OVPAA

ANNEX 7IMPLEMENTING GUIDELINES OF PH.D. INCENTIVE AWARD

Rationale

The PhD Incentive Grant aims to provide the necessary incentiveand support to faculty members of UP Diliman who recently ob-tained their PhD to start their research/creative work in UP Diliman.It also aims to serve as an incentive for new PhDs to publish theirdissertation work in a reputable, refereed journal. In this way, thegrantee can begin establishing a publication record that willstrengthen the faculty’s chances of obtaining future grants forfurther academic work.

Implementing Guidelines

1. Regular faculty members who obtained their PhD from 2005 on-wards may apply. Applicants must have received their PhD withintwelve (12) months of application. (Note: For the first year ofimplementation, all regular faculty members who received theirPhD in 2005 may apply.)

2. The grant may be used to support any research/creative workrelated activity such as but not limited to the following: initial setup of a research laboratory; purchase of equipment, books, ma-terials needed for future research endeavors; conducting prelimi-nary research activity; a research project, artistic work, etc.

3. Proponents can avail of funding support for a maximum of twoyears but fund release will be on a yearly basis subject to submis-sion of reports.

4. Research/creative work related activities that will last for morethan a year should be programmed in such a way that each yearis a self-contained phase with specific outputs. After the require-ments and outputs of the previous year have been completed,the proponent may submit a proposal for renewal for possiblefunding. Approval of the first year does not guarantee funding forsubsequent years.

5. The maximum financial assistance per year is P300,000.

6. Grantees shall sign a contract with the University indicating the pur-pose, expected output and intellectual property rights of the partiesinvolved upon acceptance of the award.

The project funds shall be released as follows:50% of the total amount shall be released upon approval of thegrant and upon signing of the Memorandum of Agreement

25% of the total amount shall be released upon submission of the midproject progress report and settlement of the 50% total funds released

25% of the total amount upon submission of the final report and settle-ment of the 25% total funds released

7. Grantees shall submit a mid-term report to the Chancellor six monthsafter the start or renewal of the grant. A final report shall be submit-ted within three (3) months of the end of the grant. The midterm andfinal report shall be submitted to the Chancellor through OVCRD. Amanuscript must also be submitted within nine (9) months of the startof the grant. (Grantees should submit within nine (9) months of thestart of their grant, a manuscript based on their PhD dissertation alongwith proof that such manuscript was submitted to a reputable, refer-eed journal for publication therein. Grantees who have publishedtheir work in refereed journals even prior to graduation may submitcopies of such articles in fulfillment of this obligation. Non-fulfillment ofthis obligation may be a ground for non-renewal.)

8. Grantees shall continue to perform the functions of faculty during thegrant period.

9. Grantee will no longer be considered for other OVCRD grants for thesame year. S/he may still apply for other System grants.

10. Grantees who fail to comply with the terms of the grant for no merito-rious reason and those whose grants are terminated for cause duringthe project period, shall return the full amount received. Furthermore,they will be disqualified from all University grants for a period of two(2) years. Should the recipient resign or be terminated from UP beforecompleting the project, s/he shall automatically lose the Grant andshould return the amount unused. In either case, s/he shall be dis-qualified from all other University grants.

ANNEX 8IMPLEMENTING GUIDELINES OF OPEN GRANT

RationaleThe Open Grant Research Scheme is in line with the University’s thrust to-wards the promotion of a strong research and development culture. TheOpen Grant supports well-defined research programs of highest qualityand standards that will lead to significant advances in the research thrustsof UP Diliman. The Open Grant shall be awarded to ground-breaking,innovative collaborative researches such as cutting edge basic research;projects that promote advanced study in the social sciences or humani-ties; applied research with policy and programmatic implications; andtechnology innovation with commercial possibilities.

Implementing Guidelines1. Projects involving multidisciplinary/interdisciplinary collaboratio